R14-4-129. Registration Procedures for Dealers and Salesmen

A. Application for registration as a dealer or salesman may be made by means of the National Association of Securities Dealers/North American Securities Administrators Association Central Registration Depository System (CRD System) by applicants entitled to use such system. B. A filing of Form BD or Form U-4 with the CRD System does not constitute an automatic registration in this state. Dealers or salesmen should not consider themselves registered until a notice of effective registration has been issued by the Commission. C. The filing of documents and information with the CRD System is equivalent to filing with the Commission.